Board of Governors Content

* NASD Notice to Members 00-21 (April 2000). [11808] April 13, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-00 BOARD OF GOVERNORS No. 21-00 SEC RULES MEMBERS No. 25-00 SMALL FUNDS MEMBERS No. 9-00 RE: NASD ISSUES NOTICE TO MEMBERS REGARDING RESPONSIBILITIES WHEN...

[11812] April 13, 2000 TO: BOARD OF GOVERNORS No. 23-00 FEDERAL LEGISLATION MEMBERS No. 5-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 26-00 PUBLIC INFORMATION COMMITTEE No. 14-00 RE: HOUSE PASSES AFTER-TAX DISCLOSURE BILL; SEC PROPOSES RULE ON SAME _______________________________________...

[11793] April 7, 2000 TO: BOARD OF GOVERNORS No. 20-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 25-00 PUBLIC INFORMATION COMMITTEE No. 12-00 SHAREHOLDER COMMUNICATIONS COMMITTEE No. 6-00 RE: INVESTMENT COMPANY INSTITUTE INVESTOR AWARENESS MESSAGE _________________________________________...

1 SEC Release Nos. 34-42484, IC-24326, IA-1856 (March 2, 2000), 65 Fed. Reg. 12354 (March 8, 2000) (the “Release”). See also Memorandum to Board of Governors No. 11-00, Investment Adviser Associate Members No. 5-00, Investment Adviser Members No. 5-00, SEC Rules Members No. 17-00, and...

[11763] March 27, 2000 TO: BOARD OF GOVERNORS No. 18-00 FEDERAL LEGISLATION MEMBERS No. 4-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 21-00 PUBLIC INFORMATION COMMITTEE No. 11-00 RE: INSTITUTE TESTIFIES IN SUPPORT OF SEC FY 2001 BUDGET; SEC CHAIRMAN LEVITT TESTIFIES ON INTERNET AND...

[11758] March 23, 2000 TO: BOARD OF GOVERNORS No. 16-00 FEDERAL LEGISLATION MEMBERS No. 3-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 20-00 PUBLIC INFORMATION COMMITTEE No. 10-00 RE: INSTITUTE TESTIFIES ON ERISA REFORM _____________________________________________________________________...

1 Verkouteren v. Blackrock Financial Management, Inc., No. 99-9005 (2d Cir., March 21, 2000). 2 See Gartenberg v. Merrill Lynch Asset Management, Inc., 694 F.2d 923, 928 (2d Cir. 1982). [11759] March 23, 2000 TO: BOARD OF GOVERNORS No. 17-00 CLOSED-END INVESTMENT COMPANY MEMBERS No. 4...

1 SEC Release Nos. 33-7809; 34-42528; IC-24339, dated March 15, 2000. A copy of the release is available on the SEC’s website at www.sec.gov. 1 [11744] March 21, 2000 TO: BOARD OF GOVERNORS No. 15-00 ACCOUNTING/TREASURERS MEMBERS No. 11-00 SEC RULES MEMBERS No. 19-00 TAX MEMBERS No...

[11738] March 20, 2000 TO: BOARD OF GOVERNORS No. 14-00 RE: NOTICE OF MEETING - MAY 5, 2000 ______________________________________________________________________________ The next regular meeting of the Board of Governors is scheduled for 9:30 am on Friday, May 5, 2000 at the...

[11737] March 17, 2000 TO: BOARD OF GOVERNORS No. 13-00 BROKER/DEALER ASSOCIATE MEMBERS No. 4-00 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 7-00 PRIMARY CONTACTS - CLOSED-END FUNDS No. 1-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 18-00 PRIMARY CONTACTS - UNIT INVESTMENT TRUSTS STANDING...